SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
The notification of the Ministry of Finance regarding prescription of conditions for securities company to apply for approval of person to be major shareholder defines the “Major Shareholder” as
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
Executive Committee shall be authorized to take any arrangements necessary and relating to the execution of the agreement in order to execute such transaction as it deems appropriate, and to take arrangements
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
shall be authorized to take any arrangements necessary and relating to such matters on behalf of the Company until completion, including but not limited to negotiations, amendment of the contents in the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
by the Executive Committee to have the power to determine the details, amend or take any arrangements necessary for and relating to such matters on behalf of the Company until completion, including but
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